United States: FINRA Reminds Firms Of 2018 Report Filing Due Dates

FINRA reminded firms of due dates for required filings that are due in 2018 and the first quarter of 2019, pursuant to Exchange Act Rule 17a-5 or FINRA Rule 4524.

In an Information Notice, FINRA included the due dates for the following required filings:

• Annual Audit Reports;
• FOCUS Reports;
• Form Custody;
• Supplemental Statement of Income;
• Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items;
• Supplemental Inventory Schedule; and
• FINRA Gateway and Entitlements.

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